Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Who Should Apply to IRS' Voluntary Disclosure Program?
By Henry Bubel, Jenny Longman, Tiffany Tam and Daniel RuzumnaThis latest program allows for voluntarily disclosing of tax violations beyond those relating to income tax.
January 12, 2021
Iowa Begins Applying Best-Interest RegulationsAn official says his state will use NAIC drafting notes as interpretive guidance.
January 11, 2021
Former Obama Lawyer, Fed Official Become FINRA GovernorsThe newest members, Kathryn Ruemmler and Deborah Bailey, joined the private sector after their work for the government.
January 08, 2021
TurboTax Starts Depositing Delayed Stimulus FundsH&R block also says delays in processing economic impact payments have been resolved.
January 08, 2021
IRS Reversal: Expenses Paid With PPP Loan Funds Are Now Tax-Deductible"The message is that's what Congress intended all along," Ed Slott told ThinkAdvisor.
January 07, 2021
Biden to Tap Boston Mayor as Labor Secretary"I imagine his views of a strong fiduciary standard would be favorable," said ERISA attorney Fred Reish.
January 06, 2021
9 Likely Picks for Biden's Economic TeamWith Democrats taking the Senate, Biden is likely to get most of his nominations approved.
January 06, 2021
Under Trump Order, SEC Warns of Investments in Chinese Military CompaniesBeginning on Jan. 11, U.S. persons will be prohibited from transacting in certain securities and derivatives of these companies.